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Showing 62 to 71 of 431 search results for firm%27s culture.

  1. Culture and Governance

    Read about the FCA's work on culture and governance, including details of how to get involved.

  2. Realising the benefits of purposeful leadership

    Speeches Published: 01/11/2018 Last modified: 01/11/2018
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham.

  3. Personal accountability

    Speeches Published: 02/12/2015 Last modified: 19/04/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ

  4. The commercial importance of culture to industry

    Speeches Published: 02/12/2014 Last modified: 02/12/2014
    The commercial importance of culture to industry. Speeches First published:. 02/12/2014. ... And for me, there’s an uneasy contrast here between the relative success of many firms in reconstructing their prudential positions, with their inability to

  5. Market Watch 76

    Newsletters Published: 30/01/2024 Last modified: 31/01/2024
    Newsletter on market conduct and transaction reporting issues, October 2023.

  6. Data strategy 2020

    Data Published: 07/01/2020 Last modified: 23/06/2022
    The data strategy sets out the FCA's vision for 2024 and how it will make better use of its data and analytics to transform how it regulates and delivers its Mission.

  7. FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]

    Final notices Published: 15/05/2014 Last modified: 24/02/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine.

  8. Final Notice 2015: Deutsche Bank AG [pdf]

    Final notices Published: 23/04/2015 Last modified: 23/04/2015
    This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine.

  9. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    We believe that poor culture played a significant part in the financial crisis and that it is a root cause of many failings at firms. ... Culture in financial services firms is critical to their ability to deliver the benefits I have just described.A

  10. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    an issue; does the firm know who is accountable for what within their firms and do they hold them to account? ... We agree - financial incentive schemes are often a good clue to a firm’s culture.

  11. FCA Final Notice 2014: Financial Limited [pdf]

    Final notices Published: 23/07/2014 Last modified: 13/03/2015
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.